SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
The Ethical Standards Committee requires that state agencies formulate a code of ethics in accordance with the ethical standards specified under the Ethical Standards Act B.E. 2562 (2019). The
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
the Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Details of the Declaration of Intent (Thai version only) are available at https://www.sec.or.th
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those interested
?s selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those
into how capital market professionals could integrate climate-related risks and opportunities into their analysis and investment decisions. The session emphasized the importance of ethical investment
boards of directors could promote sustainable benefits for their listed companies, particularly in four key areas, namely (1) creating values with long-term perspective, (2) managing ethical and